Regulatory Documents

Select regulatory documents by category:

Notice 2020-18 - Informational Notice

Publication date: 12/02/2020

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-16, Rule G-27

Notice 2020-17 - Informational Notice

Publication date: 11/20/2020

Reminder for Regulated Entities of Their Annual Notification Requirements Under Rule G-10

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-10, Rule D-9

Notice 2020-16 - Informational Notice

Publication date: 10/27/2020

MSRB Seeks Input and Volunteers for Advisory Groups

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2020-15 - Informational Notice

Publication date: 09/10/2020

MSRB Makes Administrative Changes to Board Governance Rules

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3, Rule A-4

Notice 2020-14 - Informational Notice

Publication date: 08/06/2020

MSRB Improves Board Governance

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3, Rule A-6

Notice 2020-13 - Approval Notice

Publication date: 06/26/2020

MSRB Harmonizes Rules with Requirements of Regulation Best Interest

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-9, Rule G-19, Rule G-20, Rule G-48

Notice 2020-12 - Informational Notice

Publication date: 06/24/2020

MSRB Enhances Transparency of Timing of Issuers' Annual Disclosures on the EMMA Website

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

IF-3

Notice 2020-11 - Informational Notice

Publication date: 05/28/2020

MSRB Waives Market Activity Fees for Transactions with the Municipal Market Liquidity Facility

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-13

Notice 2020-10 - Informational Notice

Publication date: 05/26/2020

MSRB Provides Resources for Municipal Bond Investors about Potential Effects of COVID-19

Notice 2020-09 - Informational Notice

Publication date: 04/09/2020

MSRB Amends Certain Rules to Provide Regulatory Relief During COVID-19 Pandemic

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-27, Rule G-44, Rule A-11, Rule A-12

Notice 2020-08 - Informational Notice

Publication date: 03/23/2020

MSRB Extends Comment Deadline on Request for Comment on Proposed Governance Enhancements

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

Notice 2020-07 - Informational Notice

Publication date: 03/09/2020

MSRB Reminds Regulated Entities of Application of Supervisory Requirements in Light of Coronavirus

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-27, Rule G-44

Notice 2020-06 - Informational Notice

Publication date: 02/25/2020

MSRB Seeks Volunteers for Market Transparency Advisory Group (MTAG)

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2020-05 - Informational Notice

Publication date: 02/21/2020

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

Notice 2020-04 - Approval Notice

Publication date: 02/19/2020

MSRB to Enhance Transparency of Timing of Issuers' Annual Disclosures on the EMMA Website

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

IF-3

Notice 2020-03 - Informational Notice

Publication date: 01/31/2020

MSRB Establishes Compliance Date for Revised Interpretive Notice of Underwriters' Fair Dealing Obligations to Issuers

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

Notice 2020-01 - Informational Notice

Publication date: 01/06/2020

Obligations of Senior Syndicate Managers Utilizing Electronic Communications

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-11

Notice 2002-38 - Informational Notice

Publication date: 12/20/2002

Notice of Proposed Amendment to Rule G-28 on Sales to Employees of Other Dealers

Rule Number:

Rule G-28

Notice 2002-39 - Informational Notice

Publication date: 12/20/2002

Municipal Fund Securities Limited Principal Examination (Series 51) Available on January 2, 2003

Notice 2002-37 - Informational Notice

Publication date: 12/17/2002

MSRB Introduces Website on Municipal Fund Securities

Notice 2002-36 - Informational Notice

Publication date: 12/11/2002

Proposed Rule Change Concerning Market Emergencies Filed with the Securities and Exchange Commission

Rule Number:

Rule G-17, Rule A-4

Notice 2002-35 - Informational Notice

Publication date: 11/22/2002

Change in Threshold for Municipal Securities Transparency Reporting: Rule G-14

Rule Number:

Rule G-14

Notice 2002-34 - Informational Notice

Publication date: 11/18/2002

Draft Interpretive Notice on Marketing of 529 College Savings Plan Employee Payroll Deduction Programs

Rule Number:

Rule G-17, Rule G-19, Rule G-27, Rule G-32

Notice 2002-33 - Informational Notice

Publication date: 10/22/2002

SEC Approves Amendment to Rule G-35 to Discontinue MSRB Arbitration Program

Rule Number:

Rule G-35, Rule A-16

Notice 2002-32 - Informational Notice

Publication date: 09/30/2002

Municipal Fund Securities Limited Principal Qualification Examination (Series 51): Filing of Test Specifications, Study Online and Extension of Transition Period

Rule Number:

Rule G-3

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic

Reminder for Regulated Entities of Their Annual Notification Requirements Under Rule G-10

MSRB Seeks Input and Volunteers for Advisory Groups

MSRB Makes Administrative Changes to Board Governance Rules

MSRB Improves Board Governance

MSRB Harmonizes Rules with Requirements of Regulation Best Interest

MSRB Enhances Transparency of Timing of Issuers' Annual Disclosures on the EMMA Website

MSRB Waives Market Activity Fees for Transactions with the Municipal Market Liquidity Facility

MSRB Provides Resources for Municipal Bond Investors about Potential Effects of COVID-19

MSRB Amends Certain Rules to Provide Regulatory Relief During COVID-19 Pandemic

MSRB Extends Comment Deadline on Request for Comment on Proposed Governance Enhancements

MSRB Reminds Regulated Entities of Application of Supervisory Requirements in Light of Coronavirus

MSRB Seeks Volunteers for Market Transparency Advisory Group (MTAG)

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

MSRB to Enhance Transparency of Timing of Issuers' Annual Disclosures on the EMMA Website

MSRB Establishes Compliance Date for Revised Interpretive Notice of Underwriters' Fair Dealing Obligations to Issuers

Obligations of Senior Syndicate Managers Utilizing Electronic Communications

Notice of Proposed Amendment to Rule G-28 on Sales to Employees of Other Dealers

Municipal Fund Securities Limited Principal Examination (Series 51) Available on January 2, 2003

MSRB Introduces Website on Municipal Fund Securities

Proposed Rule Change Concerning Market Emergencies Filed with the Securities and Exchange Commission

Change in Threshold for Municipal Securities Transparency Reporting: Rule G-14

Draft Interpretive Notice on Marketing of 529 College Savings Plan Employee Payroll Deduction Programs

SEC Approves Amendment to Rule G-35 to Discontinue MSRB Arbitration Program

Municipal Fund Securities Limited Principal Qualification Examination (Series 51): Filing of Test Specifications, Study Online and Extension of Transition Period

Guidance, Notices & Resources

MSRB Rule Book

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Regulatory Documents for the Municipal Market

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Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market